Ombudsman for the California Department of Financial Protection and Innovation

The California Department of Financial Protection and Innovation (DFPI) Office of the Ombuds was established in 2021 as an independent, impartial, and confidential resource.

The Office helps ensure that complaints about DFPI staff or actions receive a full and impartial review. It assists complainants with resolving disputes and helps them understand DFPI policies, procedures, regulations, and laws.

The Ombuds does not replace existing DFPI programs or procedures for solving problems, resolving disputes, handling complaints, or addressing concerns. Instead, it helps people identify available options, access the appropriate processes, and use them effectively.

In this OmbuDesk Directory entry, you can find information about the California Department of Financial Protection and Innovation Office of the Ombuds and how to contact them.

What is its purpose?

The DFPI Office of the Ombuds helps you understand and use the existing DFPI programs and procedures available to resolve problems, disputes, complaints, and concerns.

The Ombuds can:

• Help you identify available options for addressing your concern.
• Help ensure that appropriate DFPI processes and programs are available to you.
• Help you use existing procedures as effectively as possible.
• Consider whether existing DFPI programs and procedures are operating properly, appropriately, and fairly.
• Make recommendations to DFPI management when problems are identified.

The Ombuds does not replace existing DFPI processes and does not overturn decisions made through those processes.

Who can ask for help?

Anyone with a complaint or concern regarding the DFPI may contact the Office of the Ombuds.

This includes:

• Investors.
• Securities industry professionals.
• DFPI employees.
• Businesses that interact with DFPI.
• Individuals who interact with DFPI.

What kinds of problems can you bring?

You can contact the Ombuds about concerns involving:

• DFPI staff.
• Actions taken by DFPI.
• The handling of concerns, complaints, or disputes by the Department.
• Difficulties accessing or using existing DFPI programs and procedures.

What does the Ombuds do?

The Office of the Ombuds can:

• Review complaints about DFPI staff or actions.
• Assist complainants in identifying options for resolving concerns.
• Help people understand DFPI policies, procedures, regulations, and laws.
• Refer matters to the appropriate DFPI program or department when another process is available.
• Monitor referred matters when necessary.
• Help improve communication between complainants and DFPI.
• Make recommendations to DFPI management regarding problems identified.

What doesn’t the Ombuds do?

The DFPI Office of the Ombuds does not:

• Participate in formal investigations or formal resolution processes.
• Replace existing DFPI programs or procedures.
• Overturn decisions made by existing dispute resolution or appellate bodies.
• Make binding decisions or determine rights.
• Mandate policies.
• Force an entity or person to implement its recommendations.
• Act in a way that compromises the neutrality of the Office.
• Handle matters that are currently pending in a legal forum.
• Handle issues arising under collective bargaining agreements or matters covered by labor and employment laws.

If an issue is covered by an existing DFPI procedure, policy, or process, the Ombuds will direct the complaint to the appropriate DFPI department and may monitor the outcome when necessary.

The Ombuds may help you identify possible options for resolving your concern, even if it does not become directly involved in handling the matter.

Standards of Practice

The DFPI Office of the Ombuds follows these principles:

• Independence.
• Neutrality and impartiality.
• Confidentiality.

How can you contact them?

You can contact the California Department of Financial Protection and Innovation Office of the Ombuds through:

Email: Ombuds@dfpi.ca.gov